David Faulkner
David Faulkner is a CFP-designated registered investment advisor at Spectrum Advisors, INC., based in Plano, TX, with 19 years of industry experience. David operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Business Owners, Estate Planning, High Net Worth, Investment Management, and 2 more. Their firm serves 340 clients with $150M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $1.0M | 1.20% |
| $1.0M - $3.0M | 1.05% |
| $3.0M - $5.0M | 0.90% |
| $5.0M - $10.0M | 0.75% |
| $10.0M - $25.0M | 0.60% |
| $25M+ | 0.50% |
Fees are negotiable based on the size of the account, length of time with us and other factors. The same fee schedule applies for providing investment advice on qualified retirement plans. Maximum annual fee of 1.20%.
Fee Estimator
Location
2805 Dallas Parkway, Ste 200, Plano, TX, 75093
Get directionsHistory
Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
David is a partner at Spectrum Advisors, providing financial planning that includes insurance products, investments, and alternatives, dedicating full-time hours. He is also an insurance agent with Advisors Excel, selling insurance products and providing creative services, which takes about a quarter of his time.
Employment History
Current Registrations
Spectrum Advisors, INC.
Previous Registrations
Northwestern Mutual Investment Services,llc
Placemark Investments, INC.
State Registrations1 state
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.